Soreide Law Group is reviewing potential investor claims tied to possible sales practice violations by brokers and financial advisors. One product that has raised concerns is known as “Buffered Notes.” These securities, sometimes sold under names such as Buffered PLUS, Barrier Notes, or Trigger Yield Notes, are promoted as offering protection against market declines while […]

Investors reportedly complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hill joined LPL Financial LLC on March 1, 2018, as both a broker and an investment adviser at its West End, North Carolina office. […]

Investors might have sustained losses due to securities broker Alan Levine [CRD: 3114259, Ashland, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Levine has worked for LPL Financial LLC since May 1, 2025, after previously working with Grove Point Advisors LLC from April 1, 2021, to May 1, 2025, and Grove […]

One or more investors possibly experienced losses because of securities broker Calvin James Heck [CRD: 1025767, Everett, Washington], based on public information found on FINRA BrokerCheck. Evidently, Heck has worked for Wedbush Securities Inc. in Los Angeles, California, since June 27, 2003, and in its Everett, Washington, office since June 11, 2020. Read on to […]

Investors potentially experienced sales practice violations due to securities broker Gregory John Libby [CRD: 2455485, Paramus, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Libby has been employed with Morgan Stanley at its Paramus, New Jersey branch since June 1, 2009, and continues to be registered with the […]

Investors apparently complained about securities broker Prakash Verma (also known as Mike Panjabi, Ramprakash Panjabi, and Mike Verma) [CRD: 4760483, Leander, Texas], based on disclosures found on FINRA BrokerCheck. Evidently, Verma worked for NYLIFE Securities LLC (CRD#: 5167) from November 17, 2004, to June 2, 2025. Read on to find out more about the disclosures […]

Investors might have sustained losses due to securities broker Thomas Frederick Daniels [CRD: 4161304, Lake Oswego, Oregon], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniels worked for Commonwealth Financial Network from November 18, 2005 to July 31, 2023, and Steward Partners Investment Solutions LLC from July 31, 2023, to March 7, […]

Investors reportedly complained about securities broker James Stafford Morrison (also known as Jim Morrison) [CRD: 1254375, Waco, Texas], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morrison worked for Kestra Investment Services LLC from October 6, 2003, to April 4, 2025. Read below to discover more about the disclosures […]

Investors potentially experienced sales practice violations due to securities broker Patricia Holder (also known as Paquita Patricia Holder) [CRD: 2894768, Miami, Florida], according to public information on FINRA BrokerCheck. Evidently, Holder worked for Morgan Stanley from June 1, 2009, to February 22, 2024, and Insigneo Securities LLC and Insigneo Advisory Services LLC since February 23, […]